Sample Proforma for Submission of AEO Application

Revision
Revision Date

1
14.03.2014
ANNEXURE E-(F)

3.4
3.4.1

Premises Security

Whether
building
is
secured against
unlawful entry?

Yes

No

Premises Security
Guidance with examples on what is needed

There is wall of X ft. height and Y ft. Barbed Wire. Further, the premise is monitored by Security Personnel as well as
by CCTVs.

Annexure-3.4.1
Layout of the CCTV and Security Personnel deployment are enclosed.

3.4.2

Whether external
and
internal
windows, gates
and fences are
secured
with
locking devices
or
alternative

There is a system of intrusion detection X, details of this system is as under:

Three are total X main gates for entry/ exit. However, only Y gates are used for entry/ exit.
Gate A is used for . purpose.
Gate B is used for . purpose.
Gate C is used for . purpose.
All other gates are kept locked and these unused gates locks are sealed by authorized person.

Annexure-3.4.2A
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Sample Proforma for Submission of AEO Application

3.4

Premises Security

access
monitoring
control
measures?

Yes

No

Guidance with examples on what is needed

As per SOP XYZ, all gates are monitored by security personnel as well as by CCTVs.
or

Annexure-3.4.2B
Further, register of such monitorings are maintained. Some copies of these registers are enclosed.
3.4.3

3.4.4

Whether
management or
security
personnel control
the issuance of
locks and keys?
Whether
adequate
internal
and
external lighting
has
been
provided
especially
for
entrances
and
exits,
cargo
handling
and
storage
areas,
fence lines and
parking areas?

Annexure-3.4.3A
There is a SOP XYZ regarding Key Management. Accordingly, a Key Box is maintained containing keys for any
facility door. The Key Box is locked and stored in a secured area with limited access. Keys are labeled with tags. The
responsibility of storage of the duplicate keys of the facility lies with the X.

Annexure-3.4.3B
The XYZ Department acknowledges the inventory of keys lying with the X and the end of every week/ month. Some
copies of this register are enclosed.
There are adequate lightings inside and outside of the premises. It covers all cargo handling areas, cargo storage areas,
entrances and exits, fence lines, parking areas and all other areas covered by CCTVs.
There are X High Mast and Y Halogen to ensure proper lighting inside and outside of the premises.

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Sample Proforma for Submission of AEO Application

3.4
3.4.5

3.4.6

3.4.7

3.4.8

Premises Security

Whether
gates
through which
vehicles and/or
personnel
enter/exit have
been
manned,
monitored
or
otherwise
controlled?
Whether vehicles
accessing
restricted areas
are parked in
approved
area
and their license
plate
numbers
furnished
to
Customs
upon
request?
Whether only
properly
identified and
authorized
persons,
vehicles
and
goods
are
permitted
access?
Whether access
to document or
cargo
storage
areas
is

Yes

No

Guidance with examples on what is needed

Annexure-3.4.5A
Gates through which vehicles and/ or personnel enter/ exit are monitored by security personnel as well as by CCTVs.
records of these movements are maintained. Some copies of these records are enclosed.

Annexure-3.4.5B
These gates are equipped with Inverted Mirror and Hand Held Metal Detector. Further, frisking also done at the main
gate. The entry/ exit details are recorded and maintained at every gate in register as well as in soft copy in computer. Only
cargo vehicles and trailers can enter in the areas surrounding to warehouses. These vehicles enter only after clearance
from the concerned department. All the details of these vehicles are captured and further designated warehouse is allotted
where they have to report. Some copies of these records are enclosed.

Annexure-3.4.6
Only bonded truck/ trailer meant for cargo movements have access to the warehouse areas. Details of these conveyances
and their drivers are recorded in entry/ exit register meant for this purpose. Some copies of these records are enclosed.

Annexure-3.4.7
There is a list of vehicles. Vehicles of this list only can enter to the Corporate Office area. List of these vehicles is
enclosed.
No other vehicles can be parked in the premises.

Annexure-3.4.8A
As per page no. of SOP XYZ, access to the cargo storage areas (Warehouses) is restricted. Only employees who
work in warehouse area have access to the warehouse area. Before entering into the surrounding area of warehouses;
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Sample Proforma for Submission of AEO Application

3.4

Premises Security

restricted?

Yes

No

Guidance with examples on what is needed

every employee and visitor has to put his details in the register meant for it. Further, every warehouse has a separate
register where details are recorded again. Thus, every warehouse has X layers of security.

Annexure-3.4.8B
Documents are kept in Record Room and as per page no. of SOP XYZ Record Room has restricted entry. The
documents in the record room are maintained in following way:
3.4.9

3.4.10

Whether there
are appropriate
security systems
for theft and/or
access control?
Whether
restricted areas
have
been
clearly
identified?

Annexure-3.4.9
There is a system X. In this system, processes have been highlighted how to lock or open warehouses. Further, there is
a SOP XYZ which describes process to ensure security system to check theft and/ or any such activity.

Annexure-3.4.10A
As per page no. of SOP XYZ, all the warehouse areas are Restricted Areas and only identified person can enter in
these areas. These areas have Restricted Area identification mark. Before entering into the surrounding area of
warehouses; every employee and visitor has to put his details in the register meant for it.

Annexure-3.4.10B
Further, every warehouse has a separate register where details are recorded again. Thus, every warehouse has X layers
of security. Some copies of these registers are enclosed.

Annexure-3.4.10C
Further, as per page no. of SOP XYZ, no visitors are allowed in any warehouse un-escorted at any time.
3.4.11

Whether
the
integrity
of
structures
and
systems
is
periodically
inspected?

Annexure-3.4.11A
As per SOP XYZ, there is a ABC Committee which has been appointed to oversee security aspects. The
responsibilities of the committee are as follows:
ABC
DEF

XYZ.
This committee meets monthly/ quarterly/ biannually/ early for above assigned tasks.

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Sample Proforma for Submission of AEO Application

3.4

Premises Security

Yes

No

Guidance with examples on what is needed

Annexure-3.4.11B
Further, there is a SOP Self Assessment which evaluates the effectiveness of the security measures used within the
supply chain. It also helps to identify the need for additional resources, as well as correct gaps, vulnerabilities and
weaknesses.

Annexure-3.4.11C
3.4.12

Whether
perimeter
fencing
exists
for enclosing the
areas
around
cargo handling
and
storage
facilities?

Some copies of carried out Self Assessment are enclosed.

Perimeter fencing exists for enclosing the areas around cargo handling and storage facilities. Photographs of these areas
are as follows:

All the warehouses fall under restricted entry. There are separate entry/ exit register for every warehouse.

3.4.13

Whether interior
fencing
exists
within a cargo
handling
structure
to
segregate
domestic,
international,
high value and
hazardous
cargo?

Further, all the bays of warehouses are equipped with shutters which are kept closed when not in use.
There are total X warehouses. Warehouse no. A and B are meant for export cargo. All other warehouses are meant
for Import only. All the warehoused are categorized with type of cargo (high value, perishable, hazardous etc.) and are
monitored.

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Sample Proforma for Submission of AEO Application

3.4
3.4.14

Premises Security

Whether
all
fencing has been
regularly
inspected
for
integrity
and
damage?

3.4.15

Whether
the
number of gates
is kept to the
minimum
necessary
for
proper
access
and safety?

3.4.16

Whether private
passenger
vehicles
are
prohibited from
parking in or

Yes

No

Guidance with examples on what is needed

Annexure-3.4.14A
As per SOP XYZ, there is a ABC Committee which meets quarterly to review the system.

Annexure-3.4.14B
Inspection of the premises security is conducted and documented on daily/ weekly/ monthly basis to verify . systems
and . devices are working and fence lines are operational and maintained and records of these inspections are
maintained. Some copies of these inspection are enclosed.
There are X gates. However, only A gates are open for entry/ exit. These gates are designated with different activities.
All other gates which are kept locked are locked with authorized seal and further monitored manually as well as through
CCTVs.

Annexure-3.4.16A
As per page no. of SOP XYZ, the vehicles and trailer only meant for cargo are allowed adjacent to cargo handling
and storage area.

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Sample Proforma for Submission of AEO Application

3.4

Premises Security

adjacent
to
cargo handling
and
storage
areas?

Yes

No

Guidance with examples on what is needed

Annexure-3.4.16B
Further, there is a list which contains the details of the vehicles which are allowed inside the premises. These vehicles
have only access to the Corporate Office.
Private vehicles are not allowed inside the premises.

3.4.17

Is periodic risk
analysis
done
based on past
history of cases
or
security
breach or new
threat inputs and
SOP
annually
reviewed?

Annexure-3.4.17
As per SOP XYZ, there is a ABC Committee which has been appointed to oversee security aspects. The
responsibilities of the committee are as follows:
ABC
DEF

XYZ.
This committee meets monthly/ quarterly/ biannually/ early for above assigned tasks.

Page 7 of 7